Market Abuse Fundamentals Course

The Market Abuse Fundamentals Course provides training on all elements essential in meeting the requirements of the UK market abuse regime, both from a civil and criminal perspective. All our courses are delivered by experts in the regulatory field.

There are various course dates available throughout 2023.  All our courses are delivered by experts in the regulatory field and all our content is either designed or approved by our in-house SMEs.

Course outline

The foundation course provides training on all elements essential in meeting the requirements of the UK market abuse regime, both from a civil and criminal perspective, including:

Background

• Evolution of the UK market abuse regime
• Importance of market conduct and integrity
• Structure of the legislation

Market abuse criminal regime

• Insider dealing
• Market manipulation
• Criminal sanctions

Market Abuse Regulation (MAR)

• Application – who is obligated, what financial instruments, what markets
• Scope and exemptions
• Breaches and penalties
• Inside information and insider dealing
• Public disclosure of inside information
• Insider lists
• Market soundings
• Market manipulation
• Managers’ transactions
• Investment recommendations
• Whistle-blowing
• Relevant case studies

Systems and Controls

• Prevention and detection of market abuse: Best practice measures and regulatory expectations
• Market abuse risk assessments
• Automated and manual surveillance arrangements
• Suspicious transaction and order reports (STORs)
• Typical signs of market abuse and potential red flags
• Relevant case studies

Dates for 2023:

• 7 February 2023 (9.00am - 1.00pm)
• 29 March 2023 (9.00am - 1.00pm)
• 10 May 2023 (9.00am - 1.00pm)
• Further Dates to be added.

Please note: our current scheduled courses for 2023 will be delivered remotely by the instructor using Microsoft Teams. The web sessions are interactive and there is plenty of opportunity to ask questions. A full PDF of the course notes is sent to delegates after the session

Before booking, please ensure you have read our cancellation policy.

If you have any questions please contact us on the following email address: uvtraining@lseg.com

Tammy is a Regulatory Consulting Director at Kroll with over 16 years’ experience in the Financial Services industry. At Kroll, Tammy focuses on operational and regulatory consulting, assisting a vast range of global investment firms with the practical challenges they face to comply with their regulatory obligations. In particular, Tammy specialises in helping firms strengthen their Market Abuse frameworks, including designing and implementing tailored market abuse risk assessments across asset classes and business units, assessing the effectiveness of policies, systems, and controls across first and second lines of defence to prevent and detect market abuse, and preparing and delivering bespoke market abuse training to clients.

UnaVista clients: £600 (+VAT)

Non-client rate: £800 (+VAT)

NB:  UnaVista clients will be invoiced the fee.  Non-UnaVista clients can pay by credit card.

There is also a self-paced eLearning version of the training available.